Business Continuity Planning

What SEC examiners focus on can shift like the sands, depending on what's hot and the type of firm being queried. We've come up with ...

The huge storm that ravaged the Northeast last month also tore at the pages of even the most thoroughly tested business continuity plan.Round table Service ...

This compliance policies and procedures manual comes courtesy of Albert Gutierrez, CCO at Atlas Capital Advisors in San Francisco, who refers you to his firm’s ...

Southern California readers may smirk but last month's East Coast earthquake rattled the nerves of people unaccustomed to feeling the ground dance. When the shaking ...

The jarring shaking struck just before the Tokyo Stock Exchange was due to close for the week. In the moments after the rattling ended, workers ...

You may consider describing your firm's business continuity plan to clients and prospective clients via your website. Alabama gets hit from time to time by ...

This is a summary of a firm's business continuity plan that was posted on the website of RIA Mid-Atlantic Securities in Raleigh, N.C., and shared ...

This is a disaster recovery plan that firms can use as a prep-guide. This comes courtesy of Victoria Hogan, president, NorthPoint Compliance in Red Bank, ...

Please don't interpret this story as one more example of the news media hawking fears of swine flu. While the news saturation of the new ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-48545; File No. S7-17-03Business Continuity Planning for Trading MarketsAGENCY:Securities and Exchange Commission.ACTION:Policy statement; request for comment.SUMMARY:The Securities and Exchange Commission ...